DH
David A. Holloway
LPL ENTERPRISE
VIENNA, VA 22182
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CRD#: 5152878
DH
Professional summary
David Alfred Holloway, CFP®, who also goes by David Alfred Holloway N/a, David Holloway, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Vienna, Virginia.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. David has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Alfred Holloway N/a | David Holloway
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
HOLY CROSS HEALTH FOUNDATION BOARD POSITION: member NATURE: Non-Profit and Charitable Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 02/24/2023 ADDRESS: 1500 Forest Glen Road, Silver Spring MD 20910, United States DESCRIPTION: Provide governance and oversight of the organization and the CEO. Set policies and strategic vision of the foundation. Determine the organizations mission and purpose. Help to plan large foundation events.
CRS (Client Relationship Summary) - RIA
Click below to view David Alfred Holloway's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Alfred Holloway's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2015
Experience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 1919 Gallows Road Suite 100, Vienna, VA 22182Office #2: 44330 Mercure Cir. Ste 110, Sterling, VA 20166RIA
BD
CRD#: 8733
VIENNA, VA
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 1919 Gallows Road Suite 100, Vienna, VA 22182Office #2: 44330 Mercure Cir. Ste 110, Sterling, VA 20166RIA
BD
CRD#: 8733
VIENNA, VA
Past
October 3, 2022 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
North Bethesda, MD
Past
October 3, 2022 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
North Bethesda, MD
Past
November 13, 2020 - October 5, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
Rockville, MD
Past
November 12, 2020 - October 5, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
Rockville, MD
Past
September 18, 2015 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
CRD#: 20472
BETHESDA, MD
Past
August 6, 2015 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
BETHESDA, MD
Past
May 31, 2013 - June 25, 2015
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
ANNANDALE, VA
Past
April 1, 2008 - August 17, 2009
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
BIRMINGHAM, AL
Past
December 6, 2006 - August 17, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
BIRMINGHAM, AL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(11/14/2024)
RR
District of Columbia(11/14/2024)
RR
Georgia(11/14/2024)
RR
Maryland(11/14/2024)
IAR
Maryland(11/14/2024)
RR
Mississippi(11/14/2024)
RR
North Carolina(11/14/2024)
RR
Pennsylvania(11/14/2024)
RR
Tennessee(2/5/2025)
RR
Texas(6/23/2025)
IAR
Texas(7/24/2025)
RR
Virginia(11/14/2024)
IAR
Virginia(1/22/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
